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Manuscript to be reviewed

Risk and clinical predictors of osteoporotic fracture in East


Asian patients with chronic obstructive pulmonary disease: a
population-based cohort study
Ping-Hsueh Lee 1, 2 , Victor C Kok Corresp.,
Tzong Horng Corresp. 4, 5, 6
1
2
3
4
5
6
7

3, 4, 5

, Po-Liang Chou

, Ming-Chang Ku

2, 7

, Yu-Ching Chen

4, 5

, Jorng-

Department of Geriatric Medicine, Kuang Tien General Hospital, Taichung, Taiwan


Jen-Te Junior College of Medicine, Nursing and Management, Miaoli County, Taiwan
KTGH Cancer Center, Kuang Tien General Hospital, Taichung, Taiwan
Department of Bioinformatics and Medical Engineering, Asia University Taiwan, Taichung, Taiwan
Disease Informatics Research Group, Asia University Taiwan, Taiwan
Department of Computer Science and Information Engineering, National Central University, Jhongli, Taoyuan, Taiwan
Department of Diagnostic Radiology, Kuang Tien General Hospital, Taichung, Taiwan

Corresponding Authors: Victor C Kok, Jorng-Tzong Horng


Email address: victorkok@asia.edu.tw, horng@db.csie.ncu.edu.tw

Introduction: Osteoporosis is becoming an impending epidemic in the Asia-Pacific region. The


association between risk of osteoporotic fracture (OTPF) and chronic obstructive pulmonary disease
(COPD) in East Asian patients is yet to be fully examined. We conducted a nationwide population-based
retrospective cohort study of 98,700 patients aged 50 years with or without COPD using a national
administrative claims dataset.
Materials and Methods: The patients were divided into COPD and comparison groups comprising
19,740 and 78,960 patients, respectively. The groups were 1 to 4 matched for age, gender, index date,
diabetes mellitus, pre-existing osteoporosis and chronic kidney disease. Information such as the
geographic area where southern part represented more sunshine exposure, smoking-related diagnoses,
alcohol use disorder, whether there was regular use of inhaled corticosteroids and oral corticosteroids,
vitamin D prescriptions, Charlson-Deyo comorbidity index score, and other relevant medical
comorbidities were extracted for analysis. They were followed up until OTPF or the end of the year 2013.
The outcome measure was an osteoporotic vertebral fracture and other long-bone fractures. A
multivariate Cox model was constructed to derive adjusted hazard ratios (aHR) for OTPF with
corresponding 95% confidence intervals (CI) after controlling for age, sex, insurance premium category,
vitamin D prescription, osteoporosis, and coronary heart disease (CHD). KaplanMeier curves of the
probability of OTPF-free survival for each cohort were compared using the log-rank test. Patients with
OTPF during the first follow-up year were excluded from the overall risk calculation. Contributing factors
to the increased risk of OTPF in COPD patients were examined in a sensitivity analysis.
Results: After a total follow-up of 68,743 patient-years for the COPD group and 278,051 patient-years
for the matched comparison group, the HR for OTPF was 1.24 (95% CI, 1.021.51; P = 0.0322) in COPD
patients. The aHR was increased by 30% for vertebral OTPF (aHR = 1.297, 95% CI 1.0201.649; P =
0.0339). Differential lag time sensitivity analysis revealed a progressively elevated risk up to 8-fold
increase in women (aHR = 8.0 (95% CI, 1.8135.4; P < 0.01) during the fifth follow-up year. COPD
patients with pre-existing osteoporosis or given vitamin D prescription harbor a sustained increased risk
up to the 5th (aHR, 4.1; 95% CI, 1.6110.35) and third (aHR, 2.97; 95% CI, 1.485.97) follow-up year,
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respectively.
Conclusions: Our nationwide population-based cohort study demonstrates that East Asian COPD
patients aged 50 and beyond do harbor a modestly increased risk for osteoporotic vertebral fractures
particularly who are female, have pre-existing osteoporosis or require vitamin D prescription.

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Risk and clinical predictors of osteoporotic fracture in East Asian

patients with chronic obstructive pulmonary disease: a population-

based cohort study

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5

Short Title: Osteoporotic fracture in Asians with COPD

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7

Ping-Hsueh Lee1, 2, MD; Victor C. Kok3, 4, 5, *, MD, PhD, FACP; Po-Liang Chou6, BSc; Ming-

Chang Ku2, 7, MD; Yu-Ching Chen3, 5, PhD; Jorng-Tzong Horng3, 5, 6, *, PhD.

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1Department

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2Jen-Te

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3Disease

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of Internal Medicine, Kuang Tien General Hospital, Taichung, Taiwan

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5Department

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Taiwan

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6Department

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Jhongli, Taiwan

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7Department

of Geriatric Medicine, Kuang Tien General Hospital, Taichung, Taiwan

Junior College of Medicine, Nursing and Management, Miaoli County, Taiwan


Informatics Research Group, Asia University Taiwan, Taichung, Taiwan 4Department
of Bioinformatics and Medical Engineering, Asia University Taiwan, Taichung,
of Computer Science and Information Engineering, National Central University,
of Radiology, Kuang Tien General Hospital, Taichung, Taiwan.

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*Corresponding authors:

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Victor C. Kok, MMedSc, MD, PhD, FACP

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Kuang Tien General Hospital

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117 Shatien Road Shalu, Taichung 43303, Taiwan

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Tel: +886 4 26625111, ext: 2263

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Fax: +886 4 26655050

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E-mail: victorkok@asia.edu.tw

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Jorng-Tzong Horng, PhD

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Department of Computer Science and Information Engineering

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National Central University

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300 Jhongda Road, Jhongli, Taoyuan 32001, Taiwan

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Tel +886 919 057 555

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E-mail: horng@db.csie.ncu.edu.tw

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Tables: 4 (including one supplement table)

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Figures: 4 (including one supplement figure)

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Word count of the main manuscript: 3717

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Abstract word count: 413

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Abstract

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Introduction: Osteoporosis is becoming an impending epidemic in the Asia-Pacific region. The

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association between risk of osteoporotic fracture (OTPF) and chronic obstructive pulmonary

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disease (COPD) in East Asian patients is yet to be fully examined.

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We conducted a nationwide population-based retrospective cohort study of 98,700 patients aged

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50 years with or without COPD using a national administrative claims dataset.

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Materials and Methods: The patients were divided into COPD and comparison groups

47

comprising 19,740 and 78,960 patients, respectively. The groups were 1 to 4 matched for age,

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gender, index date, diabetes mellitus, pre-existing osteoporosis and chronic kidney disease.

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Information such as the geographic area where southern part represented more sunshine

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exposure, smoking-related diagnoses, alcohol use disorder, whether there was regular use of

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inhaled corticosteroids and oral corticosteroids, vitamin D prescriptions, Charlson-Deyo

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comorbidity index score, and other relevant medical comorbidities were extracted for analysis.

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They were followed up until OTPF or the end of the year 2013. The outcome measure was an

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osteoporotic vertebral fracture and other long-bone fractures. A multivariate Cox model was

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constructed to derive adjusted hazard ratios (aHR) for OTPF with corresponding 95% confidence

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intervals (CI) after controlling for age, sex, insurance premium category, vitamin D prescription,

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osteoporosis, and coronary heart disease (CHD). KaplanMeier curves of the probability of

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OTPF-free survival for each cohort were compared using the log-rank test. Patients with OTPF

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during the first follow-up year were excluded from the overall risk calculation. Contributing

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factors to the increased risk of OTPF in COPD patients were examined in a sensitivity analysis.

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Results: After a total follow-up of 68,743 patient-years for the COPD group and 278,051

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patient-years for the matched comparison group, the HR for OTPF was 1.24 (95% CI, 1.021.51;

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P = 0.0322) in COPD patients. The aHR was increased by 30% for vertebral OTPF (aHR =

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1.297, 95% CI 1.0201.649; P = 0.0339). Differential lag time sensitivity analysis revealed a

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progressively elevated risk up to 8-fold increase in women (aHR = 8.0 (95% CI, 1.8135.4; P <

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0.01) during the fifth follow-up year. COPD patients with pre-existing osteoporosis or given

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vitamin D prescription harbor a sustained increased risk up to the 5th (aHR, 4.1; 95% CI, 1.61

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10.35) and third (aHR, 2.97; 95% CI, 1.485.97) follow-up year, respectively.

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Conclusions: Our nationwide population-based cohort study demonstrates that East Asian

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COPD patients aged 50 and beyond do harbor a modestly increased risk for osteoporotic

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vertebral fractures particularly who are female, have pre-existing osteoporosis or require vitamin

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D prescription.

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(Word count: 413)

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Keywords: COPD, osteoporotic fracture, Asian, longitudinal study, osteoporosis

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Introduction
Osteoporosis is the most common bone disease in the world and is characterized by low

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bone mass and derangement of bone microarchitecture. The prevalence of osteoporotic fracture

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(OTPF) was estimated to be 9.0 million worldwide in the year 2000 (Johnell & Kanis 2006). In a

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cohort of Chinese women, the prevalence rates of primary osteoporosis affecting the spine,

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femoral neck, and hip were reported to be 32%34%, 16.3%, and 18.9%, respectively (Wu et al.

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2004). In other Asian countries, the prevalence rate of osteoporosis in women 50 years has been

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reported as 34% in Korea and 31% in Japan (Choi et al. 2012; Iki et al. 2001). OTPF results in

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significant reductions in quality of life due to pain, depression, and disability (Poole & Compston

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2006). Elderly patients who sustain nondisplaced hip fractures experience predictable and lasting

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loss of function, particularly in patients with pulmonary disease. Both age and chronic

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obstructive pulmonary disease (COPD) affect the speed of functional recovery (Eisler et al.

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2002). Furthermore, the mortality rate following hip fracture reportedly was as high as 36% in a

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systemic epidemiological review (Abrahamsen et al. 2009). The estimated cost of treatment of

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osteoporosis-related fracture in the United States was approximately $17 billion in 2005 and is

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estimated to increase to $25.3 billion by 2025 (Burge et al. 2007).

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Despite the substantial clinical burden of osteoporosis, treatment rates are low in some East

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Asian countries. In a national screening program in Korea, the estimated treatment rate was only

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14.4% in osteoporotic women (Choi et al. 2012). Because low bone mineral density (BMD) is a

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major risk factor for fractures, timely treatment can prevent this disastrous outcome (Nelson et

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al. 2010). Therefore, early identification of high-risk patients is an important step toward

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increasing treatment rates. However, relying on BMD screening alone is not considered

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sufficient to detect high-risk patients in a timely and cost-effective manner (Ogura-Tomomatsu et

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al. 2012; Schuit et al. 2004).


Patients with COPD have many shared features with osteoporotic patients, such as low body

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mass index (BMI), inactivity, and chronic steroid use. COPD has been shown to be associated

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with low BMD in recent studies (Jaramillo et al. 2015; Looker 2014). However, the association

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between risk of OTPF and COPD has not been well studied, particularly in the Asian population.

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The prevalence of osteoporosis has been shown to be higher in COPD patients compared with

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controls (Graat-Verboom et al. 2009; Schnell et al. 2012), and the prevalence of hip fracture was

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reportedly higher in a cross-sectional study of 465 COPD patients in Brazil (Kulak et al. 2010).

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To date, no studies have been reported from East Asian countries regarding the magnitude of the

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risk of subsequent OTPF contributed by each clinical predictor in COPD patients. The aim of the

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present study was to evaluate the association between COPD and risk of OTPF and identify

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clinical predictors of fracture in East Asian patients. The magnitude of the risk of OTPF

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contributed by clinical predictors would be calculated.

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Materials and Methods

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Data source

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Data from 2007 to 2013 was obtained from the Longitudinal Health Insurance Dataset

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(LHID) of the National Health Insurance Research Database (NHIRD). The National Health

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Insurance (NHI) program, established in 1995 in Taiwan, is a mandatory health insurance

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program requiring every resident, from a newborn to an elderly person, to join. It provides

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comprehensive insurance coverage for medical services through outpatients, inpatients, and

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emergency departments, in addition to traditional Chinese medicine. The program currently has a

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coverage rate of 99%. LHID consists of 1 million beneficiaries randomly sampled from NHIRD.

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The dataset includes NHI enrolment files and claims data, such as examinations, medical

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procedures, drug prescriptions, and diagnoses, of all included patients. The International

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Classification of Diseases, Ninth Revision, Clinical Modification codes (ICD-9-CM codes; 2001

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revision) were used by physicians to code diseases in the system. All recognizable personal

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information was encrypted according to regulations specified by the Bureau of NHI. The authors

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have successfully conducted several population-based retrospective cohort studies using the

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LHID (Kok et al. 2014; Kok et al. 2016; Kok et al. 2015a; Kok et al. 2015b). The present study

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was approved by the accredited local in-house Institutional Review Board with a certificate

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number KTGH-IRB 10520. The IRB approved that no any form of consent (Verbal / Written)

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was required for this study.

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Study Design

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We conducted a population-based, observational, cohort study to assess the association

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between COPD and risk of OTPF. All patients diagnosed with COPD between January 2007 and

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December 2013 were identified (ICD-9 CM: 490492, 496). The index date was defined as the

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month in which the diagnosis of COPD was made. Exclusion criteria were as follows: (1) age

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<50 years; (2) less than two COPD outpatient claims within 1 year with no inpatient records; and

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(3) pre-existing COPD or OTPF before January 1, 2007. The control group was composed of the

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remaining patients in LHID without COPD, with 1 to 4 matched for age, gender, and index

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month, diabetes mellitus, pre-existing osteoporosis and chronic kidney disease. The exclusion

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criteria applied to the COPD group was used for the control group. All study patients were

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followed up until the first incidence of OTPF which was further separated into vertebral fractures

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and the other long bone fractures, drop-out from the insurance program, or the end of the present

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study.

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Data extraction

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Patients age, gender, date of accrual, geographic residential area, insurance premium

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category, behavioral proxies such as smoking related diagnoses and alcohol use disorders;

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medical comorbidities including diabetes mellitus, pre-existing osteoporosis, chronic kidney

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disease, rheumatoid arthritis, hypertension, dyslipidemia, coronary heart disease, chronic liver

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disease, stroke and dementia; medical prescriptions such as vitamin D, inhaled corticosteroids

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(ICS: budesonide, beclomethasone, ciclesonide, fluticasone) and oral corticosteroids (OCS:

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cortisone acetate, dexamethasone, fludrocortisone, methylprednisolone, prednisolone,

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triamcinolone); and Charlson-Deyo Comorbidity Index Score were collected from the dataset

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and calculated. Longitudinal tracking data of study participants until the occurrence of a specific

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type of osteoporotic fracture, e.g., vertebral fracture or femoral neck fracture were extracted.

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Candidates who would be included were also screened for pathological fractures due to cancer

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metastases (ICD-9-CM code 198.5), renal osteodystrophy (588.0) and secondary

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hyperthyroidism (588.81).

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Outcome measures
The primary outcome measure of the present study was OTPF, defined as any pathological

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fracture due to osteoporosis (ICD-9-CM codes: 733.0x + 733.1x) documented in inpatient or

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outpatient data files during the study period. Osteoporotic vertebral fracture has a unique code as

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733.13. To prevent overstated or false claiming, NHI randomly and regularly reviews claims

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data, including patient history and laboratory and imaging reports. Only cases with correct

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coding for all diagnoses are eligible for full reimbursement. Any violation of the coding

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regulations results in payment retrieval plus a punitive fine, which may be several times the

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original payment. To ensure accuracy, all coding procedures were performed by groups of

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specialists assigned by contributing hospitals. OTPF in the present study was defined as any new

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and matched ICD-9 coding of cohort subjects between 2007 and 2013 in outpatient, emergent, or

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inpatient settings. Therefore, we believe that all events that occurred during the follow-up period

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were recorded with a high degree of accuracy. Furthermore, we excluded pathological fractures

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that resulted from cancer metastasis, renal osteodystrophy, or secondary hyperparathyroidism

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[ICD-9-CM codes: 733.1 + (198.5,588.0, or 588.1)] (Supplement Table 1). Patients with OTPF

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during the first follow-up year were excluded from the overall risk calculation.

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Covariates and confounders

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Socioeconomic status of participating subjects was approximated using different category

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by insurance premium. Exposure to different levels of sunshine was also taken into account by

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the use of the residential area of the participating subjects (more sunshine in the southern part of

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the country). Lifestyle factors included smoking-related diagnoses and alcohol used disorder

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were used as proxies for cigarette smoking and alcohol drinking were extracted. Medication

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history of inhaled corticosteroid and/or oral corticosteroid use and vitamin D prescription were

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extracted from the dataset. Comorbidities were identified according to ICD-9-CM codes,

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including rheumatoid arthritis, hypertension, dyslipidemia, coronary heart disease (CHD), liver

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disease, stroke, and dementia. An overall score of the Charlson-Deyo comorbidity index of each

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patient was collected.

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Statistical analysis
Patient-year data and incidence rates were evaluated. A multivariate Cox model was

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constructed to derive adjusted hazard ratios (aHR) with corresponding 95% confidence intervals

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(CI) after controlling for factors that were revealed significant in the univariate Cox model so

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that overadjustment (overfitting) and noise could be avoided. Fracture-free survival was assessed

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using the KaplanMeier analysis. Survival curves were compared between COPD and non-

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COPD groups using the log-rank test. Differential lag time sensitivity analysis was carried out to

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examine the effect of different exposure time lag on the risk of osteoporotic fractures among

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COPD patients who possessed the characteristic such as female and specific medical

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comorbidity. We used the bivariate Cox model to evaluate the risk of OTPF in COPD when

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coupled with each medical comorbidity. P-values of <0.05 were considered statistically

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significant. All study analyses were performed using the SPSS statistical software (IBM SPSS

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Statistics Version 22).

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Results

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Characteristics of the study population

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From 2007 to 2013, 92,656 newly-diagnosed COPD patients were identified from LHID (n

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= 965,659). Among these, 70,191 were excluded after applying the exclusion criteria described

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above. Reasons for exclusion were as follows: incomplete data registration (n = 1,310) and

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unsuccessful matching (n = 5,635). As a result, 19,740 patients were recruited to the COPD sub-

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cohort and 78,960 to the non-COPD sub-cohort after 1 to 4 matching for age, gender, index

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month, diabetes mellitus, pre-existing osteoporosis and chronic kidney disease. The mean age

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(and standard deviation) in the COPD group was 66 years (10.23), with 62.5% of patients <70

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years of age. COPD patients were predominantly male (55.8%). The mean follow-up duration

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was 2.97 years (standard deviation (SD), 2.06 years) in the COPD group and 3.01 years (SD,

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2.05 years) in the non-COPD group, which were not statistically significantly different (P =

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0.0949). Hypertension and hyperlipidemia were the most commonly observed co-morbidities.

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Except for dyslipidemia, all non-matching co-morbidities, such as rheumatoid arthritis,

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hypertension, and coronary heart disease, were differently distributed between the two groups.

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The mean Charlson Comorbidity Index (CCI) score was significantly higher in the COPD sub-

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cohort (1.14 vs. 1.02; P < 0.0001; Table 1). More patients with COPD were classified as a

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regular user of oral prednisolone (16.9% vs. 6.4%; P < 0.001; Table 1).

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Incidence of OTPF

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There were 131 OTPF events in the COPD group during the study period (68,743 patient-

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years), with an incidence rate of 1.91/1,000 patient-years. In the comparator group matched for

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age, gender, index month, diabetes mellitus, chronic kidney disease and pre-existing

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osteoporosis, there were 429 OTPF events in 278,051 patient-years, with an incidence rate of

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1.54/1,000 patient-years. Patients with COPD were significantly more likely to have OTPF

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[crude hazard ratio (HR), 1.24; 95% CI, 1.021.51; P = 0.0322; Table 2], as demonstrated by

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separation of the two cumulative incidence curves (Figure 2) and osteoporotic fracture-free

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survival curves in the KaplanMeier analysis (Supplement Figure 1).

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After multivariate Cox proportional hazards regression controlling for sex, age, vitamin D

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prescription, insurance premium category, pre-existing osteoporosis and coronary heart disease,

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the difference between the two groups lost statistical significance (aHR, 1.21; 95% CI, 0.992

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1.469; P = 0.0597). However, when the outcome was a vertebral OTPF, both crude HR (1.33;

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95% CI, 1.051.69; P = 0.0189) and aHR (1.297; 95% CI, 1.0201.649; P = 0.00339) were

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statistically significant. Figure 3 demonstrates the clear separation of the two cumulative

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incidence curves. Owing to few events as long bone fracture, the crude HRs were non-

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significantly increased, for example, in ulnar fractures and femoral neck fracture (Table 2).

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It is noteworthy that COPD patients who were older (up to 7.5-fold increase of the risk in

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terms of aHR in patients aged >80 years as compared with the age group of 5059 years), female

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(3.8-fold increase), who received vitamin D prescriptions (3.3-fold increase), with pre-existing

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osteoporosis (3-fold increase) or with coronary heart disease (1.5-fold increase) had higher risk

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for OTPF than their non-COPD comparators (Table 2). In sensitivity analysis based on

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differential lag time with vertebral OTPF as the outcome, female COPD patients had a sustained

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and progressively increased risk of vertebral OTPF compared with non-COPD females from the

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second (aHR = 3.3; 95% CI, 1.895.74; P < 0.0001) to fifth (aHR = 8.0; 95% CI, 1.8135.4; P <

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0.01) follow-up year. In COPD patients with pre-existing osteoporosis, the risk of vertebral

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OTPF, approximately 3 to 4-fold increased, sustained through to the fifth follow-up year. COPD

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patients who were co-prescribed vitamin D had an statistically significantly increased risk in the

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second (aHR = 3.62; 95% CI, 2.16.23; P < 0.0001) and third (aHR = 2.97; 95% CI, 1.485.97;

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P < 0.01) follow-up year (Table 3). Comorbidities, such as rheumatoid arthritis, diabetes

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mellitus, hypertension, dyslipidemia, CKD, liver disease, stroke, or dementia, were not

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associated with OTPF. In addition, steroid exposure, smoking related diagnoses, alcohol use

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disorders, and geographic region, were not associated with OTPF (Table 2).

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Discussion
We believe this to be the first longitudinal cohort study with a meticulous study design to

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examine the relationship between COPD and risk of OTPF, particularly vertebral fracture, in an

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East Asian population. Compared with the comparison cohort matched for age, gender, index

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month, pre-existing osteoporosis, diabetes mellitus and chronic kidney disease, Asian COPD

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patients had a significantly increased risk of developing OTPF, with a crude HR of 1.24 (95%

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CI, 1.021.51). When we examine the OTPF by site, the risk for vertebral fractures in COPD

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patients increases by approximately 30% even after statistical adjustment for confounding

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factors. In addition to pre-existing osteoporosis, female gender and those who require vitamin D

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prescription were important clinical predictors of vertebral OTPF in the COPD population.

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Chen and colleagues published a retrospective cohort study to examine the risk for

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osteoporosis in COPD patients in the same region as ours (Chen et al. 2015) Nevertheless, the

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study reveals some shortcomings: first, pathological fractures resulted from bone metastases,

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renal osteodystrophy and hyperparathyroidism were not excluded; second, comparators were not

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matched for pre-existing osteoporosis, diabetes mellitus, and chronic kidney disease; third,

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vitamin D prescription was not taken into account; and lastly, a half of the COPD cohort aged

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below 50 years, which are not an optimal population to examine osteoporosis for. Another

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population-based retrospective cohort study to examine the association between COPD and hip

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fracture (Huang et al. 2016) revealed that patients with COPD had an approximately 60% greater

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risk of sustaining hip fracture. Our study cannot confirm this association (crude HR = 2.319;

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95% CI, 0.687.92; P = 0.1797). Further studies are needed to confirm the potentially existing

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risk.

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The prevalence of osteoporosis was significantly higher in COPD patients compared with

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healthy subjects, with prevalence rates of 9%69% in COPD patients (Graat-Verboom et al.

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2009). The association between COPD and osteoporosis has been reported in many studies. In a

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very elderly Chinese male population, COPD was found to be independently associated with low

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femoral neck bone mineral density (Bian et al. 2015). Higher Global Initiative for Chronic

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Obstructive Lung Disease (GOLD) stage is reportedly correlated with lower bone mineral

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density, with every unit decrease in respiratory function (expressed as FEV1 in L/s) associated

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with a decrease in BMD of approximately 0.02 g/cm2 (Lekamwasam et al. 2002; Lekamwasam

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et al. 2005; Vrieze et al. 2007). This association was independent of potential confounding

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factors, such as age, smoking habit, major comorbidity, and medications.

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However, only a few studies have examined whether patients with COPD have a higher risk

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of developing OTPF. A recent small cross-sectional study reported by Watanabe and colleagues

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reveals that the prevalent vertebral fracture is as high as 79.4% in Japanese men with COPD

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(Watanabe et al. 2015). A case-control study demonstrated an independent association between

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COPD and increased risk of hip fracture in Catalonians (Reyes et al. 2014). In a multicenter

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cross-sectional study, Diez-Manglano and colleagues observed a high probability of fracture in

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347 Spanish COPD inpatients. Overall, nearly half of the COPD patients (95% CI, 44.854.7)

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had a probability of hip fracture in the next 10 years. The probability of fracture was not related

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to the GOLD stage. An American retrospective observational study of 87,360 COPD veterans

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reported a high incidence rate of hip fractures during 4 years of follow-up, with 3.99 events/1000

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person-years (Morden et al. 2011). However, this study did not include a comparative cohort for

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the study population. None of the studies mentioned above used a prospective design method. In

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a further study with a 6-year follow-up of 5,541 males in the general population, patients with

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COPD or asthma had lower BMD than patients without COPD or asthma, with adjusted odds

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ratio for vertebral and non-vertebral fractures of 2.6 and 1.4, respectively (odds ratio for presence

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of COPD or asthma vs. absence of COPD or asthma, 2.64; 95% CI, 1.574.44; and 1.42; 95%

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CI, 1.031.96, respectively) (Dam et al. 2010). However, the inclusion of patients with asthma

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limited the ability to evaluate the contribution of COPD to fracture outcomes. Because the

309

abovementioned studies were conducted in the western population and three included men only

310

(Dam et al. 2010; Morden et al. 2011; Reyes et al. 2014), the generalizability to populations in

311

Eastern countries is questionable.

312

The association between COPD and OTPF observed in the present study may be

313

attributable to shared risks between both conditions, such as smoking, physical inactivity, low

314

body weight, and malnutrition (Biskobing 2002; Dam et al. 2010; Jorgensen & Schwarz 2008).

315

Moreover, serum vitamin D levels may also contribute to the risk of OTPF. It has been shown

316

that decreased vitamin D levels were independently associated with increased risk of

317

osteoporosis (defined as vertebral fracture without decreased BMD) by 7.5-fold (Graat-Verboom

318

et al. 2012).

319

It should be noted that OTPF may result from events other than osteoporosis, such as falls.

320

COPD patients typically have many shared risk factors for falls, such as muscle weakness,

321

mobility impairment, and exercise intolerance (Kim et al. 2008; Ries et al. 2007). Compared with

322

healthy controls, the presence of COPD has been shown to be associated with significantly

323

impaired ability to perform balance tests, such as the Berg Balance Scale, timed up and go test,

324

and single-leg stance (Crisan et al. 2015; Porto et al. 2015). An observational cohort study

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325

reported a high prevalence of previous falls in COPD patients (32%), with an incidence rate of

326

0.1 (95% CI, 0.060.14) falls/person-month (Roig et al. 2011). In a population-based study,

327

Sibley et al. reported that COPD was significantly associated with increased risk of falls (Sibley

328

et al. 2014). Thus, in addition to osteoporosis, risk factors for falls may play an important role in

329

the correlation between COPD and OTPF. The treatment of such risk factors and osteoporosis is

330

likely required for successful fracture prevention.

331

Patients with CKD are at an increased risk of fragility fracture (Nickolas et al. 2008), which

332

may be explained by CKD-related bone mineral disease and high coprevalence of CKD and

333

osteoporosis in elderly individuals (Klawansky et al. 2003). This is the reason why our study

334

design employed matching the comparison group by this factor.

335

The present study had some clinical implications. According to current guidelines,

336

osteoporosis screening is not recommended for patients with COPD. In the present study, we

337

identified COPD as a potential risk factor for OTPF, particularly vertebral OTPF and the

338

contributing predictors of vertebral OTPF are female COPD patients or those with pre-existing

339

osteoporosis or required vitamin D prescription. Timely arrangement of BMD scanning may

340

increase the possibility of treating osteoporosis and reduce the risk of fracture in this high-risk

341

population. Systemic corticosteroid should be used with cautious as the incidence of fracture

342

increases with duration and dosage of steroid therapy (Canalis et al. 2007; Reid & Heap 1990).

343

Because 87%90% of elderly fractures result from falls (Dargent-Molina et al. 1996; Fife &

344

Barancik 1985), strategies to prevent falls should be implemented in at-risk patients, such as

345

medication review, environmental adjustment, and exercise training. Previous studies have

346

shown that balance training in COPD patients has utility in improving important fall-related

347

factors, such as function, muscle strength, and balance performance (Beauchamp et al. 2013;

348

Harrison et al. 2015). Thus, introducing balance training component into currently existing

349

exercise programs for COPD patients may be of more value in OTPF prevention.

350

Several limitations of the present study have to be acknowledged. First, we were unable to

351

obtain data regarding important fracture risk factors, including BMI, bone marrow density, and

352

calcium intake, family history of OTPF, and physical activity level. Second, the propensity for

353

falls could not be determined because data for risk factors, such as gait abnormality, visual

354

impairment, and living environment, were unavailable. Third, COPD diagnoses were obtained

355

from a claimed dataset, which might not be as accurate as diagnoses made by standardized

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356

protocols or tools. However, we excluded outpatients claiming less than two times per year

357

without an inpatient record to increase accuracy. Lastly, the true incidence of prevalent fracture

358

which is existent morphological fracture identified by x-ray during the study period cannot be

359

determined. In the current study, the authors only picked up "clinical fractures" with symptoms

360

because most patients were not taking screening spinal x-ray exams. Thus, upon subject

361

recruitment, a prevalent asymptomatic vertebral fracture can potentially be missed. Similarly, the

362

fracture that this research was looking at was physician-diagnosed clinical fracture identifiable in

363

the national claims database. Thus, the true vertebral fracture incidence during the study period is

364

unknown. Thanks to the nationwide frailty intervention health programs established in Taiwan

365

aiming to reduce the risk of falls and fractures, many if not all asymptomatic pre-clinical

366

vertebral OTPFs have already been screen-detected. The risk of misclassification bias is thus

367

much reduced.

368

The study has several strengths. First, we used compulsory administrative data to identify

369

our study cohorts, which avoids possible volunteer or selection bias. Second, patients in the

370

COPD group of the present study were meticulously matched with individuals without COPD,

371

thereby minimizing possible confounding or bias that may affect other observational studies.

372

Third, the sample of the present study was large and nationwide, increasing the generalizability

373

of the present findings. We believe the effect of the large sample size of the present study may

374

overcome some of the confounding factors caused by minor issues, such as code

375

misclassification and minor differences between the two cohorts or use of medications that effect

376

bone metabolism. Fourth, we excluded patients with fractures that occurred within the first year

377

of COPD diagnosis, which may have been caused by other factors as the time was too short for

378

COPD to have affected bone metabolism.

379

In conclusion, the present large-scale longitudinal study conducted in the Asia-pacific

380

region found an association between OTPF in COPD patients. Among patients with COPD, the

381

risk of fractures was significantly increased in female patients, and those with a diagnosis of

382

osteoporosis, or those who require vitamin D prescription indicating risk for osteoporosis. These

383

results indicate the importance of fall prevention and osteoporosis treatment in patients with

384

COPD. Further prospective cohort studies are required to confirm the causal relationship

385

between COPD and OTPF.

386

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388

Acknowledgements

389

The authors wish to thank the Administration of the National Health Insurance and the National

390

Health Research Institute, Taiwan, for the dataset used to conduct this research. The

391

interpretation and conclusions contained herein do not represent those of the institutions above.

392

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Figure legends

544
545

Figure 1. Consort diagram of the present study flow.

546
547

Figure 2. Cumulative incidence curves of osteoporotic fracture in COPD patients and non-COPD

548

comparators matched for age, sex, index date, pre-existing osteoporosis, diabetes mellitus and

549

chronic kidney disease.

550
551

Figure 3. Cumulative incidence curves of osteoporotic vertebral fracture in COPD patients and

552

non-COPD comparators after multivariate adjustment.

553
554

Supplement Figure 1. Kaplan-Meier fracture-free survival curves of COPD patients and non-

555

COPD comparators matched for age, sex, index date, pre-existing osteoporosis, diabetes mellitus

556

and chronic kidney disease.

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Figure 1
Consort diagram of the present study flow.

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Manuscript to be reviewed

Figure 2
Cumulative incidence curves of osteoporotic fracture in COPD patients and non-COPD
comparators matched for age, sex, index date, osteoporosis, diabetes mellitus and
chronic kidney disease.

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Figure 3
Cumulative incidence curves of osteoporotic vertebral fracture in COPD patients and
non-COPD comparators after multivariate adjustment.

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Table 1(on next page)
Demographic characteristics of COPD patients and Non-COPD patients 1-to-4-matched
by age, sex, index date, diabetes mellitus, pre-existing osteoporosis, and chronic kidney
disease.

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1
2

Table 1. Demographic characteristics of COPD patients and Non-COPD patients 1-to-4-matched


by age, sex, index date, diabetes mellitus, pre-existing osteoporosis, and chronic kidney disease.
Descriptor

COPD patients

Non-COPD patients

N = 19,740
Age mean (SD)

(%)

66.02 (10.23)

Age group

N = 78,960

P value

(%)

65.92 (10.23)

50 ~ 59

6423

32.54

26140

33.11

60 ~ 69

5915

29.96

23501

29.76

70 ~ 79

5077

25.72

20215

25.60

>80

2325

11.78

9104

11.53

Gender

Female

8732

44.24

34928

44.24

11008

55.76

44032

55.76

Diabetes mellitus

4726

23.94

18904

23.94

Osteoporosis

1187

6.01

4748

6.01

Chronic kidney disease

2746

13.91

10984

13.91

Male
Other matched characteristics

Follow-up (Year) / Mean (SD)

2.97 (2.06)

3.01 (2.05)

0.0949

3051

15.46

11618

14.71

2976

15.08

11707

14.83

2820

14.29

11355

14.38

2575

13.04

10442

13.22

2523

12.78

10309

13.06

2597

13.16

10754

13.62

3170

16.06

12691

16.07

Residential Area

<0.0001

North

8386

42.48

34410

43.58

Central

5300

26.85

19132

24.23

South

5330

27.00

22655

28.69

591

2.99

1934

2.45

12353

62.58

2772

3.51

<0.0001

598

3.03

1557

1.97

<0.0001

East
Smoking-related Diagnoses
Alcohol use disorder
Insurance Premium Category

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<0.0001

Manuscript to be reviewed
<15,000 NTD

10041

50.87

39186

49.63

15,00021,999 NTD

6028

30.54

23634

29.93

22,000 NTD

3671

18.60

16140

20.44

545

2.76

1790

2.27

<0.0001

Hypertension

11509

58.30

44266

56.06

<0.0001

Dyslipidemia

6813

34.51

27511

34.84

0.3868

Coronary heart disease

5528

28.00

17192

21.77

<0.0001

Liver disease

3824

19.37

13644

19.28

<0.0001

Stroke

3994

20.23

12188

15.44

<0.0001

Dementia

1144

5.80

2481

3.14

<0.0001

1214

6.17

440

0.56

<0.0001

267

1.36

169

0.21

<0.0001

Ciclesonide

46

0.23

16

0.02

<0.0001

Fluticasone

1762

8.96

425

0.54

<0.0001

Cortisone acetate

62

0.32

125

0.16

<0.0001

Dexamethasone

325

1.65

770

0.98

<0.0001

Fludrocortisone

18

0.09

51

0.06

<0.0001

373

1.90

656

0.83

<0.0001

3330

16.93

5012

6.36

<0.0001

30

0.15

97

0.12

<0.0001

487

2.48

1689

2.14

0.0045

Comorbidities
Rheumatoid Arthritis

Type of ICS
Budesonide
Beclomethasone

Type of OCS

Methylprednisolone
Prednisolone
Triamcinolone
Vitamin D prescription
CCI score / Mean (SD)

3
4
5
6

1.14 (1.36)

1.02 (1.32)

<0.0001

CCI score 0

8604

43.59

38699

49.01

CCI score 1, 2

8051

40.79

29345

37.16

CCI score 3, 4

2308

11.69

8235

10.43

CCI score 5

777

3.94

2681

3.40

*COPD was excluded from the CCI score in the COPD cohort.
CCI: Charlson-Deyo comorbidity index; ICS: inhaled corticosteroid; NTD: New Taiwan Dollar; OCS: oral
corticosteroid; SD: standard deviation

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Table 2(on next page)
Incidence of osteoporotic fractures for COPD patients compared with non-COPD patients
and crude and adjusted hazard ratio for an episode of osteoporotic fracture

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1
2
3
4

Table 2. Incidence of osteoporotic fractures for COPD patients compared with non-COPD
patients and crude and adjusted hazard ratio for an episode of osteoporotic fracture

Variables

COPD patients
Event

All

PY

Non-COPD patients
Rate

Event

PY

Rate

Incidence Rate Ratio


(95 % CI)

Crude HR

Adjusted HR*

1.24 (1.02 1.51)


(P =0.0322)
1.33 (1.05 1.69)
(P =0.0189)
1.35 (0.14 12.99)
(P =0.7943)

1.207 (0.992 1.469


(P =0.0597)
1.297 (1.020 1.649)
(P =0.0339)

131

68743.3

1.91

429 278050.7

1.54

1.24 (1.011.51)

89

68743.3

1.29

271 278050.7

0.97

1.33 (1.031.69)

68743.3

0.01

3 278050.7

0.01

1.35 (0.0316.79)

68743.3

0.06

7 278050.7

0.03

2.31 (0.509.09)

2.319 (0.68 7.92)


(P =0.1797)

50-59

10

23495.89

0.43

22 96405.22

0.23

1.87 (0.794.10)

60-69

29

20797.03

1.39

94 83199.61

1.13

1.23 (0.781.89)

3.30 (1.61 6.77)


(P =0.0011)

70-79

62

17398.42

3.56

188

69866.2

2.69

1.32 (0.981.77)

8.44 (4.33 16.46)


(P <0.0001)

>80

30

7051.96

4.25

125 28579.67

4.37

0.97 (0.631.46)

10.33 (5.05 21.13)


(P <0.0001)

2.462 (1.16 5.222)


(P =0.0189)
7.124 (3.395
14.951)
(P <0.0001)
7.482 (3.299
16.971)
(P <0.0001)

23 37817.02

0.61

152742

0.37

1.63 (0.962.69)

108 30926.28

3.49

372 125308.8

2.97

1.18 (0.941.46)

5.70 (3.64 8.95)


(P <0.0001)

3.817 (2.388 6.1)


(P <0.0001)

Vertebral fractures
Ulna fractures
Neck of femur
fractures
Age

Sex
Male
Female

57

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Vitamin D prescription
No

108 66601.18

Yes

23

1.62

2142.12

10.74

92 41622.03

2.21

380 270804.9

1.4

1.16 (0.921.43)

7245.82

6.76

1.59 (0.922.66)

6.375 (4.06 10.00)


(P <0.0001)

3.3 (2.08 5.236)


(P <0.0001)

364 219780.6

1.66

1.33 (1.051.68)

49

Steroid exposure
No steroid
ICS regular use

2768.1

0.36

688.57

1.45

0.25 (0.00319.53)

0.154 (0.022-1.107)
(P = 0.0631)

OCS regular use

1097.32

0.91

2294.96

0.44

2.09 (0.03164.17)

0.391 (0.055-2.807)
(P =0.3506)

No

56

26518.7

2.11

419 269633.1

1.55

1.36 (1.011.80)

Yes

75

42224.6

1.78

8417.64

1.19

1.50 (0.773.24)

131 67001.73

1.96

429 273623.2

1.57

1.25 (1.021.52)

4427.45

NA

NA

NA

257 135747.5

0.99

0.99 (0.741.31)

Smoking-related
diagnoses

10

0.848 (0.6 1.20)


(P =0.3497)

Alcohol use disorders


No
Yes

1741.57

NA

64

34007.32

1.88

Insurance premium
(NTD)
<15,000

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60 21653.09

2.77

158 84330.74

1.87

1.48 (1.082.00)

3.56 (1.63 - 7.76)


(P =0.0014)

1.394 (0.583 - 3.335)


(P =0.4554)

7 13082.89

0.54

14 57972.41

0.24

2.22 (0.765.87)

5.18 (2.37 - 11.33)


(P <0.0001)

1.171 (0.472 2.901)


(P =0.7338)

North

54 29259.38

1.85

175 121378.3

1.44

1.28 (0.931.75)

Central

45

18457

2.44

141 66933.68

2.11

1.16 (0.811.63)

1.32 (0.89 - 1.97)


(P =0.1658)

South

29 18390.64

1.58

101 79909.28

1.26

1.25 (0.801.91)

0.856(0.55 - 1.35)
(P =0.50)

6843.38

1.02

1.38 (0.236.03)

0.76 (0.23 - 2.43)


(P =0.6414)

407 272383.3

1.49

1.29 (1.051.57)

5667.4

3.88

0.31 (0.041.27)

0.651 (0.161 2.629)


(P =0.5463)

15,00021,999
22,000
Geographic area

East

2130.77

1.41

129 67096.49

1.92

Comorbidities
Rheumatoid Arthritis
No
Yes

1646.81

1.21

22

No

102 53458.33

1.91

349 216876.3

1.61

1.19 (0.941.48)

Yes

29 15284.97

1.9

80 61174.37

1.31

1.45 (0.912.24)

1.015 (0.672 1.533)


(P =0.9449)

52 29753.16

1.75

149 128167.5

1.16

1.50 (1.072.07)

Diabetes mellitus

Hypertension
No

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79 38990.13

2.03

280 149883.2

1.87

1.08 (0.831.40)

1.176 (0.829 1.669)


(P =0.3646)

No

81 46397.68

1.75

287 188947.6

1.52

1.15 (0.891.48)

Yes

50 22345.62

2.24

142 89103.05

1.59

1.40 (1.001.95)

1.305 (0.917 1.858)


(P =0.1386)

No

93 65071.05

1.43

297 262971.8

1.13

1.27 (0.991.60)

Yes

38

3672.25

10.35

132 15078.89

8.75

1.18 (0.801.71)

No

75

50255.5

1.49

299 222287.6

1.35

1.11 (0.851.43)

Yes

56 18487.79

3.03

130 55763.07

2.33

1.30 (0.931.79)

2.05 (1.45 2.899)


(P <0.0001)

1.471 (1.037 2.088)


(P =0.0306)

113 60552.14

2.24

375

245400

1.83

1.22 (0.981.51)

Yes
Dyslipidemia

Osteoporosis
1

7.399 (5.071 10.796) 3.01 (2.019 4.487)


(P <0. 0001)
(P <0. 0001)

Coronary heart
disease

Chronic kidney
disease
No
Yes

8191.16

2.2

54 32650.65

1.65

1.33 (0.732.30)

1.222 (0.743 2.010)


(P =0.4303)

109 56439.49

1.93

352 235095.9

1.5

1.29 (1.031.60)

18

Liver disease
No

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Yes

22 12303.81

1.79

77 42954.81

1.79

1.0 (0.591.62)

0.944 (0.597 1.493)


(P =0.8051)

No

111 56270.64

1.97

343 238988.5

1.44

1.37 (1.101.71)

Yes

20 12472.65

1.6

86 39062.17

2.2

0.73 (0.421.20)

0.834 (0.518 1.344)


(P =0.456)

125 65485.98

1.91

408 270683.4

1.51

1.26 (1.031.55)

2.85

0.65 (0.211.66)

1.003 (0.442 2.277)


(P =0.9934)

Stroke

Dementia
No
Yes

5
6
7
8

3257.32

1.84

21

7367.3

Hazard ratio calculation: For fracture sites, comparison was made between COPD and nonCOPD; in subcategories such as age and sex, HR is based on the comparison among
subcategories with the reference group.

9
10
11
12
13
14

Event = Number of Osteoporotic Fractures; PY = Person Years; Rate = Incidence per 1,000 PY;
CKD = Chronic kidney disease; HR = Hazard Ratio; ICS = inhaled corticosteroids; IHD = Ischemic
heart disease; NA = not applicable; OCS = oral corticosteroids.
*Multivariate Cox regression model derived HR was adjusted for sex, age group, vitamin D
prescription, insurance premium category, pre-existing osteoporosis and coronary heart
disease.

15
16
17

Only regular users by pre-determined definitions were included for analysis.


Bold type numerals denote statistical significance.

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Table 3(on next page)
Sensitivity Analysis.
Table 3. Sensitivity analysis showing the effect of differential time lag on the risk of
osteoporotic fractures among COPD patients who possessed the characteristic

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1
2
3
4

Table 3. Sensitivity analysis showing the effect of differential time lag on the risk of osteoporotic vertebral fractures among COPD
patients who possessed the contributing characteristics.
2nd follow up year
Predictive Variable

Female
Osteoporosis
Vitamin D
Prescription
Coronary Heart
Disease

5
6
7
8

x/y
7439/
9222
959/
15702

aHR (95%

A/B

CI)

3.3(1.895.74)****
3.31(2.0427/62
5.35)****
72/17

3rd follow up year


x/y

A/B

aHR (95%
CI)

4th follow up year


x/y

A/B

aHR (95%
CI)

5th follow up year


x/y

A/B

6177/
3.48(1.75- 4909/
4.46(1.81- 3762/
48/11
31/6
20/2
6.9)*** 5956
11.03)** 4528
7508
758/
3.35(1.84- 568/
3.51(1.64- 393/
17/42
10/27
7/15
6.09)**** 10297
7.51)** 7897
12927

468/
16193

17/72

3.62(2.1- 419/
2.97(1.48- 360/
1.69(0.59- 295/
10/49
4/33
6.23)**** 13266
5.97)** 10505
4.87)
7995

4590/
12071

38/51

1.45(0.95- 3724/
1.39(0.82- 2913/
1.04(0.52- 2148/
24/35
12/25
7/15
2.22)
9961
2.34)
7952
2.09)
6142

3/19

aHR (95%
CI)

6th follow up year


x/y

8.0(1.81- 2623/
35.4)**
3144
4.08(1.61- 253/
10.35)** 5514
1.9(0.556.57)

A/B
8/0
2/6

aHR (95%
CI)

x/y

1444/
1726
2.45(0.48- 125/
12.41)
3045
-

A/B
2/0
1/1

212/
5555

2/6

4.48(0.8822.9)

116/
3054

1/1

0.97(0.39- 1437/
2.41)
4330

2/6

0.69(0.143.47)

764/
2406

0/2

Bold type numerals denote achieving statistically significant. *P<0.05; **P<0.01; ***P<0.001; ****P<0.0001
x/y: number of patients at risk with the characteristic/number of patients at risk without the characteristic.
A/B: number of patients who developed osteoporotic fracture in X/number of patients who developed osteoporotic fracture in Y.
The Cox model was adjusted for sex, age group, vitamin D prescription, and pre-existing osteoporosis.

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7th follow up

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